FINRA has barred former MML Investor Services, LLC broker, Floyd Powell for failing to disclose to his firm that he sold unregistered promissory notes to 11 customers and received $104,000 in commissions as a result of the transactions.
Tagged with "woodbridge"
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FINRA Bars Ex-MML Broker for Selling $3.5 Million of Woodbridge Promissory Notes
Posted on March 5th, 2019 at 9:17 AM
Woodbridge CEO Settles with the SEC for $892 Million
Posted on November 2nd, 2018 at 4:39 PM
According to the SEC, the CEO of Woodbridge Group of Companies, Robert Shapiro, has agreed to settle allegations against him that he defrauded investors in a $1.2 billion real estate Ponzi scheme that drove his company into bankruptcy.
Oklahoma Couple Files Lawsuit Against Accounting Firm for its Connection to Woodbridge Ponzi Scheme
Posted on October 26th, 2018 at 9:17 AM
An Oklahoma couple filed a lawsuit in federal court against the accounting firm, Gibson & Reynolds LLC alleging breach of fiduciary duty and negligence in supervising its employee who was also a Woodbridge Group of Companies, LLC (Woodbridge) sales agent.
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